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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
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EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
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IPRU-INV 5.4 Financial resources requirement
As Published: 2016
IPRU-INV 5.4 Financial resources requirement
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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